Robert J. Dufresne
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert John Dufresne, who also goes by Robert John Dufresne Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - November 6, 2023
NUVEEN SECURITIES, LLC
June 23, 2000 - December 3, 2002
NATIXIS DISTRIBUTION, LLC
March 26, 1998 - June 14, 2000
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
June 28, 1993 - January 22, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
June 25, 1992 - June 10, 1993
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
